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date: 04 July 2022

Abstract and Keywords

The Hong Kong Stock Exchange (HKEx) is one of the world’s leading exchanges for international capital raising. This chapter begins with an introduction to the historical trends and regulatory structure of Hong Kong equity capital markets. It discusses how the HKEx provides a platform for Mainland Chinese companies to seek an international listing and for international companies to gain exposure in the Mainland Chinese market. The chapter follows with a practical overview of the initial public offering (IPO) process in Hong Kong: from pre-IPO considerations to a listed company’s post-listing continuing obligations. Topics will be examined from a legal and regulatory perspective and include Main Board and GEM Board listing qualifications, listing methods, application process, role of sponsors, prospectus requirements, offering structure, post-listing continuing obligations, notifiable and connected transactions, corporate governance, and future directions of the HKEx.

Keywords: initial public offering (IPO), regulation, Hong Kong, China, listing, prospectus, corporate governance

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